0001209191-15-041824.txt : 20150512
0001209191-15-041824.hdr.sgml : 20150512
20150512173249
ACCESSION NUMBER: 0001209191-15-041824
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20150511
FILED AS OF DATE: 20150512
DATE AS OF CHANGE: 20150512
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: HTG MOLECULAR DIAGNOSTICS, INC
CENTRAL INDEX KEY: 0001169987
STANDARD INDUSTRIAL CLASSIFICATION: LABORATORY ANALYTICAL INSTRUMENTS [3826]
IRS NUMBER: 860912294
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 3430 E. GLOBAL LOOP
CITY: TUCSON
STATE: AZ
ZIP: 85706
BUSINESS PHONE: 877-289-2615
MAIL ADDRESS:
STREET 1: 3430 E. GLOBAL LOOP
CITY: TUCSON
STATE: AZ
ZIP: 85706
FORMER COMPANY:
FORMER CONFORMED NAME: HTG MOLECULAR DIAGNOSTICS INC
DATE OF NAME CHANGE: 20110523
FORMER COMPANY:
FORMER CONFORMED NAME: HIGH THROUGHPUT GENOMICS INC
DATE OF NAME CHANGE: 20020326
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Novo A/S
CENTRAL INDEX KEY: 0001388325
STATE OF INCORPORATION: G7
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37369
FILM NUMBER: 15855643
BUSINESS ADDRESS:
STREET 1: TUBORG HAVNEVEJ 19
CITY: HELLERUP
STATE: G7
ZIP: 2900
BUSINESS PHONE: 45 8824 8824
MAIL ADDRESS:
STREET 1: TUBORG HAVNEVEJ 19
CITY: HELLERUP
STATE: G7
ZIP: 2900
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2015-05-11
0
0001169987
HTG MOLECULAR DIAGNOSTICS, INC
HTGM
0001388325
Novo A/S
TUBORG HAVNEVEJ 19
HELLERUP
G7
2900
DENMARK
0
0
1
0
COMMON STOCK
2015-05-11
4
C
0
754538
A
754538
D
COMMON STOCK
2015-05-11
4
C
0
110755
A
865293
D
COMMON STOCK
2015-05-11
4
X
0
49786
A
915079
D
COMMON STOCK
2015-05-11
4
P
0
365106
14.00
A
1280185
D
SERIES D PREFERRED STOCK
2015-05-11
4
C
0
598415
0.00
D
COMMON STOCK
598415
0
D
SERIES E PREFERRED STOCK
2015-05-11
4
C
0
156123
0.00
D
COMMON STOCK
156123
0
D
CONVERTIBLE PROMISSORY NOTES (RIGHT TO BUY)
2015-05-11
4
C
0
110755
0.00
D
COMMON STOCK
110755
0
D
SERIES E PREFERRED STOCK WARRANTS (RIGHT TO BUY)
2015-05-11
4
X
0
49786
0.00
D
2022-01-14
COMMON STOCK
49786
0
D
The Series D and Series E Preferred Stock (collectively, the "Preferred Stock") had no expiration date. Upon the closing of the Issuer's initial public offering (the "IPO Closing"), the Preferred Stock automatically converted on a one-for-one basis for no additional consideration into common stock and additional shares were issued for accrued but unpaid dividends on the Preferred Stock.
Upon the IPO Closing, convertible promissory notes in the aggregate principal amount of $1,535,440 and accrued and unpaid interest due on such notes (collectively, the "Note Conversion Amount") automatically converted into common stock equal to the Note Conversion Amount divided by $14.00 (the "IPO Per Share Price").
Upon the IPO Closing, an aggregate principal warrant coverage amount of $697, 015 was exercised for shares of common stock at the IPO Share Price.
Represents a purchase from the underwriters in the Issuer's public offering.
Novo A/S is a Danish limited liability company. The board of directors of Novo A/S (the "Novo Board"), which is currently comprised of Sten Scheibye, Goran Ando, Jeppe Christiansen, Steen Riisgaard and Per Wold-Olsen, has shared investment and voting control over the securities of the Issuer held by Novo A/S (the "Shares") and may exercise such control only with the support of a majority of the Novo Board. As such, no individual member of the Novo Board is deemed to hold any beneficial ownership or reportable pecuniary interest in the Shares.
/s/ Bjarne Graven Larsen, Chief Financial Officer of Novo A/S
2015-05-12